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Article NO. Content

Title:

Operation Directions for Agency Services Operated by Securities Firms Engaged by Customers to Invest Their Securities Trading Balances  CH

Amended Date: 2015.03.31
Article 14     A securities firm shall set up a separate account for each principal and keep a daily record of each transfer of principals' funds in the settlement account of the securities firm.
    The securities firm shall prepare a monthly account statement for principals using the records described in the previous paragraph, unless there have been no transactions that month or the principal does not request in writing.
    The securities firm and the principal shall sign an agreement, agreeing that the TWSE, GTSM, and institutions appointed by competent authorities may collect, computerize, internationally transmit, and use their personal data pursuant to relevant laws.